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Regulatory & Legislative Hot Topics for RIAs: What to expect in the coming year

January 28, 2009 - January 30, 2009

OneVoice 2009: Financial Services Institute (FSI) Broker-Dealer Conference

Sutherland Partners Clifford E. Kirsch and Brian L. Rubin are speaking at the Financial Services Institute (FSI) 2009 Broker-Dealer Conference: "OneVoice 2009," January 28-30, 2009, in San Antonio, Texas. Industry leaders from FINRA and independent broker-dealers will discuss what the changes facing the nation mean to the financial services industry.

Cliff and Brian will be presenting "Regulatory & Legislative Hot Topics for RIAs: What to expect in the coming year." With the regulatory environment for investment advisers in a state of flux, this session will take a comprehensive look at the issues affecting registered investment advisers in today’s market. A number of different regulatory bodies are seeking to enter or expand their presence in the advisory arena. Who will win out and will the outcome result in better investor protection for advisory clients or more bureaucracy? How will this affect stand-alone RIAs vs. dually registered firms, and what role will each of the various bodies responsible for rule making and oversight play in the final outcome? Click here to view a copy of the presentation.

For more information and to register for this event, click here.

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